We're at the Investment Adviser Association Conference in Washington, DC this week. Come visit us at booth #20 if you are there!
DFP Partners
金融服务
New York，NY 933 位关注者
DFP Partners, formerly known as The SDDco Group, brings 40 years of accounting and compliance expertise you can trust.
关于我们
For over 40 years, DFP Partners has been a committed ally to Broker-Dealers, Registered Investment Advisers, and other financial services firms looking for accounting and compliance services. During that time, we’ve built a team of dynamic accountants and consultants who bring their exceptional energy and imagination to each of our client’s challenges. We a pledge to always serve the best interests of our clients above anything else. At DFP Partners, we know our clients are entrepreneurs with little time to wrestle with the intricacies of securities regulation. That’s why we’ve built our business around managing your regulatory burdens as if they are our own — freeing you to focus on what you do best. Our offerings include, compliance consulting, registration services, accounting and tax support, and outsourced principal roles such as, Financial and Operations Principal (FinOp), Chief Compliance Officer (CCO), Chief Financial Officer (CFO) and Principal Operations Officer (POO). Additionally, we provide independent anti-money laundering testing, cybersecurity procedures and training, and branch inspection programs. We can also manage your new or continuing membership applications.
- 网站
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https://www.dfppartners.com
DFP Partners的外部链接
- 所属行业
- 金融服务
- 规模
- 51-200 人
- 总部
- New York，NY
- 类型
- 私人持股
- 创立
- 1952
- 领域
- FinOp and Brokerage Support、Accounting and Bookkeeping、B/D and RIA Registration and Compliance、Tax Advising and Compliance、Tech Firm Startup Support、cyber、cybersecurity、fintech、fintech support、outsourced solutions、outsourced CCO、outsourced CFO、outsourced FinOp、Broker-Dealer和AML testing
地点
DFP Partners员工
动态
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FinCEN’s Final Rule is now in effect with a compliance deadline of January 1, 2026, requiring Registered Investment Advisers (RIAs) and Exempt Reporting Advisers (ERAs) to adopt anti-money laundering (AML) compliance programs. Despite being months ahead of the compliance deadline, we are seeing the SEC bring enforcement action against investment advisors for not adhering to their written policies and procedures as it pertains to AML compliance. A recent example of this was the SEC charging the investment adviser Navy Capital Green Management, LLC for misrepresenting AML procedures.?For firms that have adopted AML compliance procedures ahead of the upcoming deadline, it may be prudent to consider more prompt action now. ? https://lnkd.in/gUkG53-9 DFP Partners has helped broker-dealers navigate AML requirements for over 20 years and we can facilitate the development of your AML compliance program to meet the requirements under the Final Rule, which entails: ?? ? The development of internal policies, procedures, and controls ? The designation of a compliance officer ? An ongoing employee training program ? An independent testing function ? Our Certified AML Specialists (CAMS) will tailor the scope of independent testing to your firm's business model. Once the review is completed, we will produce a written report with findings and recommendations (if applicable). ? Email us at [email protected] if you would like to speak with one of our Certified AML Specialists. ?
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